ASIC
Financial planning
The Australian Securities and Investments Commission (ASIC) has turned its attention to the inner workings of the investment research industry, including research houses'...
Financial planning
Peter Joyner and Associates has lost its Australian Financial Services Licence (AFSL) for failing to maintain adequate professional indemnity (PI) insurance, among other ...
Editorial
Frequent changes in the law mean compliance issues can often be a legal minefield. Here, lawyers David Court, Sonnie Bailey and Kathryn Wardrobe answer three frequently a...
Financial planning
Trustee companies will have more time to deal with disputes following ASIC's decision to update the complaints process....
Financial planning
Intra-fund advice will not be excluded from ASIC's shadow shopping exercise targeting retirement advice, which the regulator has announced will be revived again this year...
Superannuation
Retirement financial advice will soon be under scrutiny by ASIC, with the announcement that the regulator will resume its shadow shopping survey this year....
Financial planning
ASIC has signalled it will be looking closely at fast-growing financial planning businesses....
Funds management
In another win for Westpoint investors, the Australian Securities and Investments Commission (ASIC) has settled a compensation suit with KPMG and certain Westpoint Group ...
Financial planning
ASIC has announced that it will support businesses in flood-affected areas, despite the fact that the regulator’s Brisbane office has been closed due to the floodin...
Financial planning
ASIC accepted an enforceable undertaking from Professional Investment Services in December due to concerns over the firm’s compliance with its legal obligations....
Financial planning
A joint move by ASIC and APRA to suspend Trio Capital (formerly Astarra Capital) as trustee of four superannuation funds and a pooled super trust generated significant co...
Financial planning
The entry-level requirements for the provision of financial advice may soon be lifted from their very low base, with the corporate regulator undertaking consultation with...
Financial planning
ASIC agrees to use annual report to detail its use of coercive powers....
Financial planning
Dr Pamela Hanrahan has been confirmed as the Australian Securities and Investments Commission's (ASIC's) newly appointed regional commissioner for Queensland....
Financial planning
An education and research fund has slipped though the cracks in the imminent transition of market supervision from the Australian Securities Exchange (ASX) to the Austral...
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MARKET INSIGHTS
Podcast
The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...
Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...
It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...